National Academies Press: OpenBook
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Suggested Citation:"CONTENTS." National Academies of Sciences, Engineering, and Medicine. 2013. Legal Issues Related to Developing Safety Management Systems and Safety Risk Management at U.S. Airports. Washington, DC: The National Academies Press. doi: 10.17226/22658.
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Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

CONTENTS I. Introduction, 3 II. Basics of SMS, 4 A. Description of SMS and SRM, 4 B. ICAO Requirements, 5 C. FAA Actions Concerning SMS, 6 III. Just Culture and SMS, 9 A. The Case for Implementing Just Culture, 10 B. Legal Impediments to Just Culture, 11 IV. Aviation SMS in Selected Jurisdictions, 11 A. Canada: Canadian Aviation Regulations and SMS, 11 B. Europe, 12 C. Australia, 14 V. SMS in Other Fields, 14 A. Patient Safety, 15 B. Maritime SMS, 16 C. Oil and Gas Industry, 19 VI. Liability and SMS, 21 A. The Effect of SMS on the Elements of a Negligence Claim, 21 B. Qualified Immunities for Governmental Entities, 25 VII. Data Protection and SMS, 28 A. FOIA and State Sunshine Laws, 30 B. Qualified Privileges, 34 C. Attorney-Client Privilege, 36 VIII. Strategies for Managing Legal Risks Due to SMS, 39 A. Review of State and Local Law, 40 B. Audit of Applicable Regulatory Documents, 40 C. Organizational Review, 41 D. Audit of FAA Approvals, 41 E. Assembly of SMS Review Team, 41 F. Outline of Development of Initial SMS, 41 G. Data Gathering and Data Protection, 42 H. Gap Analysis, 42 I. Hazard Identification and Analysis, 42 J. Risk Mitigation and the Predictive Risk Matrix, 42 K. FAA Approval of SMS, 44 IX. Conclusion, 44 LRD19 Final.indd 2 1/7/13 11:39 AM

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TRB’s Airport Cooperative Research Program (ACRP) Legal Research Digest 19: Legal Issues Related to Developing Safety Management Systems and Safety Risk Management at U.S. Airports explores the basics of a safety management systems (SMS); discusses the concept of a “just culture;” highlights efforts to implement SMS at airports and in other industries such as maritime, patient safety, and oil and gas; examines theories under which SMS could lead to increased liability for airports; and provides a review of select state sunshine laws and the federal Freedom of Information Act.

The digest also discusses certain available means of protecting SMS data from disclosure or discovery, and suggests potential strategies for managing legal issues that may arise due to implementation of SMS.

According to the report, Safety Management System (SMS) has been defined as a systematic approach to managing safety not only by proactively conducting safety assessments before there is an incident or accident, but also by having the necessary policies, procedures, organization structure, and accountabilities in place. The four key elements of an SMS are safety policy, risk management, assurance, and promotion.


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